| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/15/2021 | 3. Issuer Name and Ticker or Trading Symbol GOLDMAN SACHS GROUP INC [ GS ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Restricted Stock Units | (1) | (1) | Common Stock, par value $0.01 per share | 60,691 | (1) | D | |
| Explanation of Responses: |
| 1. 46,871 of these Restricted Stock Units ("RSUs") were granted in April 2020, with the remainder granted in January 2021. The RSUs granted in April 2020 will vest on dates ranging from December 31, 2022 to December 31, 2024, and shares of the Issuer's common stock underlying these RSUs will be delivered, with no sale or transfer restrictions, on dates ranging from January 2023 to January 2025, subject to other terms and conditions of the award agreement. The RSUs granted in January 2021 will vest on dates ranging from December 31, 2021 to December 31, 2023, and shares of the Issuer's common stock underlying these RSUs will be delivered on dates ranging from January 2022 to January 2024, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these January 2021 RSUs generally cannot be sold or transferred before January 2026. |
| Remarks: |
| /s/ Beverly L. O'Toole, Attorney-in-fact | 03/25/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
